Our Staff has compiled our research into a database of FINRA Broker Disclosures for J.P. Morgan Securities LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Paola Moreno Martinez | 7602016 | 2 | 05/09/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Aubrey Lynne Caldwell | 7780120 | 3 | 05/09/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Daniel Alejandro Ramirez | 6143360 | 1 | 05/04/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Steven Swanson | 4396238 | 3 | 05/02/2022 | Customer Dispute | Denied | $500,000.00 | $0.00 | See FINRA Report |
| Edward Wess | 7588275 | 1 | 05/02/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rodolfo E Muniz | 5222939 | 1 | 05/02/2022 | Customer Dispute | Denied | $10,520.00 | $0.00 | See FINRA Report |
| Richard Gutierrez | 3152502 | 1 | 05/01/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Marisol Rodriguez | 7795252 | 1 | 04/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Isaiah Lutz | 7133912 | 1 | 04/26/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brandon Alexander Greene | 6502472 | 2 | 04/25/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |